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Catherine A Foltz

Morgan Stanley

Pepper Pike, OH

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-03-23
TX RA APPROVED_RES 2020-04-02
OH RA APPROVED 2012-03-15
  • IL RA
    APPROVED
    Since 2021-03-23
  • TX RA
    APPROVED_RES
    Since 2020-04-02
  • OH RA
    APPROVED
    Since 2012-03-15

Branch Locations

31099 Chagrin Boulevard, Pepper Pike, OH 44124 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Pepper Pike OH 06/2015 Present
Previous Registrations
  • 2010-05-10 → 2011-04-29
    Ameriprise Financial Services, Llc
    Canton, OH
  • 2009-06-01 → 2009-07-20
    Morgan Stanley
    Canton, OH
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Canton, OH
  • 2001-04-11 → 2007-04-02
    Morgan Stanley Dw Inc.
    Canton, OH
    Canton, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-01-14
S63 Uniform Securities Agent State Law Examination 1999-07-17
  • S65 Uniform Investment Adviser Law Examination
    2003-01-14
  • S63 Uniform Securities Agent State Law Examination
    1999-07-17
Other Names
  • Katie Foltz
  • Catherine Ann Foltz

View on SEC IAPD

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Other Offices

NIRVANA ANALYTICS, LLC · PEPPER PIKE, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · PEPPER PIKE, OH
UBS FINANCIAL SERVICES INC. · PEPPER PIKE, OH
WELLS FARGO CLEARING SERVICES, LLC · PEPPER PIKE, OH
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · CLEVELAND, OH
UBS FINANCIAL SERVICES INC. · PEPPER PIKE, OH
ELIZABETH PARK CAPITAL MANAGEMENT, LTD · PEPPER PIKE, OH
VIRTERA PARTNERS LLC · PEPPER PIKE, OH

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